1. Transaction Processing: Concurrency and Serializability 10/4/05

2.  Interleave transactions to improve concurrency; increasing concurrency can increase throughput (performance).  Some interleaved transactions will never violate isolation because they act on different data.  Some interleaved transactions MAY violate isolation.  Interleave transactions to improve concurrency; increasing concurrency can increase throughput (performance).  Some interleaved transactions will never violate isolation because they act on different data.  Some interleaved transactions MAY violate isolation.

3.  Concurrency control: An algorithm to (hopefully) permit good interleaving and refuse bad interleaving.  NB, Executing a concurrency control algorithm will increase overhead of the transaction manager.  This will increase response time,  and reduce throughput.  Concurrency control: An algorithm to (hopefully) permit good interleaving and refuse bad interleaving.  NB, Executing a concurrency control algorithm will increase overhead of the transaction manager.  This will increase response time,  and reduce throughput.

4. Concurrency control  Input to the algorithm are the arriving requests for database reads/writes.  The input is obtained from the various transactions.  Output is a sequence of database read/write requests.  The output is provided to the portion of the data manager actually accessing the disk.  Input to the algorithm are the arriving requests for database reads/writes.  The input is obtained from the various transactions.  Output is a sequence of database read/write requests.  The output is provided to the portion of the data manager actually accessing the disk.

5.  A serial schedule has no interleaving between transactions (a transaction completes before another begins).  A schedule is correct if it is equivalent to a serial schedule.  A serial schedule has no interleaving between transactions (a transaction completes before another begins).  A schedule is correct if it is equivalent to a serial schedule.

6. Isolation levels  By relaxing the isolation requirement, more interleaving is possible -- at a greater risk to data integrity.  Isolation levels characterize the amount of isolation imposed.  By relaxing the isolation requirement, more interleaving is possible -- at a greater risk to data integrity.  Isolation levels characterize the amount of isolation imposed.

7. Commuting operations Two operations, p1 and p2, commute if, for all possible initial database states,  p1 returns the same value when executed in order or  p2 returns the same value when executed in order or  The database state produced by both sequences is the same.  Note, commutativity is symmetric.  NOTE! Two operations on different data items always commute.  Note, Two operations on the same data item MAY commute. Two operations, p1 and p2, commute if, for all possible initial database states,  p1 returns the same value when executed in order or  p2 returns the same value when executed in order or  The database state produced by both sequences is the same.  Note, commutativity is symmetric.  NOTE! Two operations on different data items always commute.  Note, Two operations on the same data item MAY commute.

8. Conflicting operations  Two operations that do not commute are conflicting operations.  E.g., S1 : S1’ : If they are run on the same starting state, and end up in different states, then s11 and s12 conflict. Look at the following from the aspect of two different transactions, A read and read on the same item always commute. A read and a write on the same item conflict because (though the final state is the same), value returned depends on order of ops. A write and a write on the same item conflict.  Two operations that do not commute are conflicting operations.  E.g., S1 : S1’ : If they are run on the same starting state, and end up in different states, then s11 and s12 conflict. Look at the following from the aspect of two different transactions, A read and read on the same item always commute. A read and a write on the same item conflict because (though the final state is the same), value returned depends on order of ops. A write and a write on the same item conflict.

9.  If S2 can be obtained from S1 by “swapping” commuting operations, then S1 and S2 are equivalent.  Equivalence of schedules is transitive!  If S2 can be obtained from S1 by “swapping” commuting operations, then S1 and S2 are equivalent.  Equivalence of schedules is transitive!

10. Example schedules  Two interleaved transactions T1 (t11, t12), T2 (t21, t22): S1: s11, s12, s13, s14 Suppose s12 and s13 commute, then S2 : s11, s13, s12, s14 Same start state Same end state  Two interleaved transactions T1 (t11, t12), T2 (t21, t22): S1: s11, s12, s13, s14 Suppose s12 and s13 commute, then S2 : s11, s13, s12, s14 Same start state Same end state

11.  Schedule equivalence (not the same as E&N’s ‘complete schedule’ definition):  Two schedules of the same set of ops are equivalent iff conflicting operations are ordered in the same way in both schedules.  ==> A schedule S2 can be derived from a schedule S1 by interchanging commuting operations iff conflicting operations are ordered in the same way in both schedules.  Schedule equivalence (not the same as E&N’s ‘complete schedule’ definition):  Two schedules of the same set of ops are equivalent iff conflicting operations are ordered in the same way in both schedules.  ==> A schedule S2 can be derived from a schedule S1 by interchanging commuting operations iff conflicting operations are ordered in the same way in both schedules.

12. Restatement of Serializable Schedule  A schedule is serializable if it is equivalent to a serial schedule  Equivalent construction:  Commute commuting operators and use transitivity of equivalence, or  Conflicting operations are in the same order in both schedules.  A schedule is serializable if it is equivalent to a serial schedule  Equivalent construction:  Commute commuting operators and use transitivity of equivalence, or  Conflicting operations are in the same order in both schedules.

13. Try this: is S1 serializable (what commutations?), S2? S3?  T1:  T2:  S1:  S2:  S3:  T1:  T2:  S1:  S2:  S3:

14. Try this: is S4 serializable?  S4:

15. More on schedule equivalence  The preceding definition of equivalence (by commuting, AKA by maintaining order of conflicting ops) is called conflict equivalence.  A different kind of equivalence is view equivalence, two schedules of the same set of ops are view equivalent if both the following are true:  Corresponding read ops in each schedule return the same values,  Both schedules yield the same final state.  The preceding definition of equivalence (by commuting, AKA by maintaining order of conflicting ops) is called conflict equivalence.  A different kind of equivalence is view equivalence, two schedules of the same set of ops are view equivalent if both the following are true:  Corresponding read ops in each schedule return the same values,  Both schedules yield the same final state.

16. View equivalence  If corresponding read ops in both schedules return the same values, then the transactions perform the same calculations and write the same results!  I.e., transactions in both schedules have the same view of the database.  Conflict equivalence implies view equivalence  View equivalence does not imply conflict equivalence.  I.e., Conflict equivalence is the stronger; but it turns out that conflict equivalence is easier to use for concurrency control.  If corresponding read ops in both schedules return the same values, then the transactions perform the same calculations and write the same results!  I.e., transactions in both schedules have the same view of the database.  Conflict equivalence implies view equivalence  View equivalence does not imply conflict equivalence.  I.e., Conflict equivalence is the stronger; but it turns out that conflict equivalence is easier to use for concurrency control.

17. Serialization graphs  A schedule, S, is represented as a directed graph.  Nodes are (committed) transactions.  Edge between Ti and Tj (Ti -> Tj) if:  Some op in Ti, pi, conflicts with some op, pj, in Tj, and  pi appears before pj in S.  A schedule, S, is represented as a directed graph.  Nodes are (committed) transactions.  Edge between Ti and Tj (Ti -> Tj) if:  Some op in Ti, pi, conflicts with some op, pj, in Tj, and  pi appears before pj in S.

18. Example  S1: T2 writes a after T1 reads a. The ops do not commute: r1(a), w2(a) Graph of S1: T1 T2  S1: T2 writes a after T1 reads a. The ops do not commute: r1(a), w2(a) Graph of S1: T1 T2

19. A schedule is conflict serializable iff its serialization graph is acyclic. T2T4 T1 T3T5 T6T7 Topological sorts give conflict equivalent serial schedules, e.g.: T1, T3, T5, T2, T6, T7, T4. Others? T2T4 T1 T3T5 T6T7 Topological sorts give conflict equivalent serial schedules, e.g.: T1, T3, T5, T2, T6, T7, T4. Others?

20. In class  Using concurrent transactions, deposit to a, withdraw from a, make a (non-serial) schedule:  Give the serialization graph  Is it acyclic? If so, give a conflict equivalent serial schedule.  Identify commuting operations.  Identify conflicting operations.  Using the concurrent deposit, transfer and withdraw transactions (deposit to a, withdraw from b, transfer takes from b and puts in a), make a (non-serial) schedule:  Give the serialization graph  Is it acyclic? Is there a serial schedule?  How many total pairs of operations are there?  Identify, at least some, commuting operations.  Identify, at least some, conflicting operations.  Using concurrent transactions, deposit to a, withdraw from a, make a (non-serial) schedule:  Give the serialization graph  Is it acyclic? If so, give a conflict equivalent serial schedule.  Identify commuting operations.  Identify conflicting operations.  Using the concurrent deposit, transfer and withdraw transactions (deposit to a, withdraw from b, transfer takes from b and puts in a), make a (non-serial) schedule:  Give the serialization graph  Is it acyclic? Is there a serial schedule?  How many total pairs of operations are there?  Identify, at least some, commuting operations.  Identify, at least some, conflicting operations.

21. A strict concurrency control  A transaction is not allowed to read or write data that has been written by another still active transaction. (Recoverability topic later).  Conflict avoidance:  If operation requests by T1 and T2 do not conflict, they are granted.  Requests don’t conflict if either:  Requests are to different data items, OR  Requests are both reads.  A transaction is not allowed to read or write data that has been written by another still active transaction. (Recoverability topic later).  Conflict avoidance:  If operation requests by T1 and T2 do not conflict, they are granted.  Requests don’t conflict if either:  Requests are to different data items, OR  Requests are both reads.

22. In class  Make the conflict table for the previous algorithm: (put X for conflicting requests) Granted op: Requested op:readwrite read write  Make the conflict table for the previous algorithm: (put X for conflicting requests) Granted op: Requested op:readwrite read write

23. But if you make a transaction wait … DEADLOCK (a cycle of k transactions waiting for each other) DEADLOCK (a cycle of k transactions waiting for each other)

24. Dealing with deadlock  Prevention: maintain a data structure that checks whether deadlock may result. If so, some transaction involved in the deadlock must be aborted.  Timeout: if time to execute exceeds a threshold, force an abort.  Timestamp:Timestamp start of each transaction. Use timestamp to implement a conflict resolution policy:  Older transaction never waits for younger (e.g., by aborting younger, even though younger has been waiting a long time),  Younger transaction can only wait for an older (place younger on wait-list)  Prevention: maintain a data structure that checks whether deadlock may result. If so, some transaction involved in the deadlock must be aborted.  Timeout: if time to execute exceeds a threshold, force an abort.  Timestamp:Timestamp start of each transaction. Use timestamp to implement a conflict resolution policy:  Older transaction never waits for younger (e.g., by aborting younger, even though younger has been waiting a long time),  Younger transaction can only wait for an older (place younger on wait-list)

25. Manual locking: an alternative to AUTOMATIC locking  A transaction explicitly requests concurrency control to grant a lock on a data item, then makes the read/write request.  Concurrency control grants (or refuses) locks.  A transaction explicitly requests concurrency control to grant a lock on a data item, then makes the read/write request.  Concurrency control grants (or refuses) locks.

26. UNLOCKING  Can be automatic -- when a transaction terminates, all locks held by it are released.  Can be manual -- transaction explicitly releases a lock.  Can be automatic -- when a transaction terminates, all locks held by it are released.  Can be manual -- transaction explicitly releases a lock.

27. Two phase locking: 2PL  A transaction maintains 2PL protocol if it obtains all of its locks before making any unlocks …  lock phase, followed by unlock phase  Automatic locking is 2PL.  Automatic unlocking is 2PL.  2PL protocol produces serializable schedules.  A transaction maintains 2PL protocol if it obtains all of its locks before making any unlocks …  lock phase, followed by unlock phase  Automatic locking is 2PL.  Automatic unlocking is 2PL.  2PL protocol produces serializable schedules.

28.  For next time, we’ll discuss the paper in the RedBook: “Granularity of Locks …”  How are the different lock modes used?  What are the degrees of consistency?  How does the locking protocol relate to degrees of consistency.  What are the overhead costs of the different locking protocols?  For next time, we’ll discuss the paper in the RedBook: “Granularity of Locks …”  How are the different lock modes used?  What are the degrees of consistency?  How does the locking protocol relate to degrees of consistency.  What are the overhead costs of the different locking protocols?